Securities and Exchange Commission

Source Id

383

Investigative Summary 26-0004

03/25/2026

2026

Investigation

Securities and Exchange Commission OIG

Securities and Exchange Commission

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Fiscal Year 2025 Independent Evaluation of the SEC's Implementation of the Federal Information Security Modernization Act of 2014, Report No. 589

02/25/2026

2026

589

Inspection / Evaluation

Securities and Exchange Commission OIG

Securities and Exchange Commission

Fiscal Year 2025 Independent Evaluation of the SEC's Implementation of the Federal Information Security Modernization Act of 2014, Report No. 589

Read more about Fiscal Year 2025 Independent Evaluation of the SEC's Implementation of the Federal Information Security Modernization Act of 2014, Report No. 589

Immigration Attorney Sentenced to 30 Months for Visa Fraud and Obstruction of Justice

02/05/2026

2026

Investigation

Securities and Exchange Commission OIG

Securities and Exchange Commission

Read more about Immigration Attorney Sentenced to 30 Months for Visa Fraud and Obstruction of Justice

Semiannual Report to Congress: April 1, 2025, through September 30, 2025

01/23/2026

2025

Semiannual Report

Securities and Exchange Commission OIG

Securities and Exchange Commission

Semiannual Report to Congress: April 1, 2025, through September 30, 2025

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The Inspector General’s Statement on the SEC’s Management and Performance Challenges, December 2025

12/04/2025

2026

Top Management Challenges

Securities and Exchange Commission OIG

Securities and Exchange Commission

The Inspector General’s Statement on the SEC’s Management and Performance Challenges, December 2025

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Hong Kong Businessman Indicted for Role in Filing False SEC Investment Adviser Forms on behalf of Sham Entities Used in Ramp-and-Dump Scheme

11/14/2025

2026

Other

Securities and Exchange Commission OIG

Securities and Exchange Commission

Read more about Hong Kong Businessman Indicted for Role in Filing False SEC Investment Adviser Forms on behalf of Sham Entities Used in Ramp-and-Dump Scheme

SEC Investigative Summary 25-0010

09/30/2025

2025

Investigation

Securities and Exchange Commission OIG

Securities and Exchange Commission

Former SEC Contract Specialist falsely claimed Virginia residency while living in and working from Florida, collecting higher locality pay for years

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Observations on the SEC’s Rulemaking Process, Report No. 588

09/29/2025

2025

588

Audit

Securities and Exchange Commission OIG

Securities and Exchange Commission

Observations on the SEC’s Rulemaking Process, Report No. 588

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Co-CEO of Chinese publicly traded technology company and financial advisor indicted for over $100M securities fraud scheme

09/12/2025

2025

Investigation

Securities and Exchange Commission OIG

Securities and Exchange Commission

Co-CEO of Chinese publicly traded technology company and financial advisor indicted for over $100M securities fraud scheme

Read more about Co-CEO of Chinese publicly traded technology company and financial advisor indicted for over $100M securities fraud scheme

SEC OIG Investigative Summary 25-0009

09/12/2025

2025

Investigation

Securities and Exchange Commission OIG

Securities and Exchange Commission

Read more about SEC OIG Investigative Summary 25-0009

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